Dougherty & Associates Financial Advisors, Inc.

Dougherty & Associates Financial Advisors is a registered investment adviser serving individuals (including high‑net‑worth clients), pension and profit‑sharing plans, trusts, estates, charitable organizations, and business entities. The firm provides discretionary and non‑discretionary portfolio management and financial consulting services, primarily advising on mutual funds and ETFs, and manages roughly $383 million for about 1,069 clients through a five‑advisor team.

The firm tailors portfolios to clients’ objectives and risk tolerances using fundamental analysis, with a mix of long‑ and short‑term purchases and the occasional use of margin or short‑term trading when suitable. It acts as a fiduciary for retirement accounts under applicable guidance, monitors and rebalances accounts, and offers IRA rollover recommendations as part of its consulting services.

Distinctive features include the firm’s routine use of a Standing Letter of Authorization to execute third‑party wire transfers when clients provide written instructions, and its confirmation that it meets custodian criteria that avoid a surprise annual audit despite that authority. The firm’s advisors also serve as registered representatives of a broker‑dealer and as licensed insurance agents (earning separate commission‑based compensation), and the firm routinely directs custody and trade execution to a single custodian platform, creating potential conflicts that the brochure discloses.